Our Staff has compiled our research into a database of FINRA Broker Disclosures. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Philip Timothy Castaneda | 855183 | 2 | 01/01/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Wayne Ellsworth | 1488310 | 1 | 01/01/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Stephen Hitron | 1054734 | 4 | 01/01/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Melvin Jones | 1314046 | 2 | 01/01/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ersel Lee Carter | 1683739 | 2 | 01/01/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Peter Emmett | 200958 | 1 | 01/01/1968 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Andrew Irving | 1289123 | 9 | 12/30/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Douglas Gibson | 1816161 | 3 | 12/29/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Pearne William Billings | 21500 | 1 | 12/28/1967 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Richard Nadolna | 1021266 | 1 | 12/18/1967 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |